Todd Frank has been President/Chief Compliance Officer of Frank Financial Services since January 2003, is a control person of the firm and directly owns 75% or more of it. Todd Frank holds a BS from the University of California at Berkeley and an MBA from Duke University Fuqua School of Business.
Frank Financial Services is a Carlsbad, CA firm with $188M under management, 144 clients and 2 advisers in one office, as of its February 2026 filing.
Todd E. Frank is President and CEO of Frank Financial Advisors, based in Carlsbad, California. He has been active in the financial services industry since 1993. Before founding the firm in 2003, he spent many years as a corporate finance executive with firms including ThomsonReuters, The Walt Disney Company, Sara Lee Knit Products, Digitas and Arthur Andersen & Co.
Todd Frank’s longest registration is the current one, 18 years at Frank Financial Services since 2008. Before joining Frank Financial Services in 2008, Todd Frank was registered through LPL Financial Corporation and RBC Dain Rauscher Inc.
- Frank Financial AdvisorsCurrent– present · 18 yearsCarlsbad, CA · Adviser representative · Firm CRD 147537
- LPL Financial Corporation– · 7 yearsCarlsbad, CA · Adviser representative · Firm CRD 6413
- RBC Dain Rauscher Inc.– · under a yearLa Jolla, CA · Adviser representative · Firm CRD 31194
Professional designations
Listed by Frank Financial Services
- Certified Public Accountant (CPA)
- Personal Financial Specialist (PFS)
Investment adviser representative registrations
Todd Frank is registered as an investment adviser representative in 3 states. The first approvals date from October 2008; the most recent is Texas, in March 2020.
- CaliforniaSince 3 October 2008
- LouisianaSince 27 March 2012
- TexasSince 5 March 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 16 June 2005 |
| Series 66 | Uniform Combined State Law Examination | 21 February 2001 |
| Series 7 | General Securities Representative Examination | 29 December 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Todd Evan Frank
- CRD
- 4225416
- Firm
- Frank Financial Services · CRD 147537
- Role
- President/Chief Compliance Officer
- Office
- 2710 LOKER AVENUE WEST, SUITE 230, Carlsbad, CA 92010
- Registration
- Investment adviser registration
- In the industry since
- May 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- frankfinancialadvisors.com
Where does Todd Frank work?
Todd Frank has been President/Chief Compliance Officer of Frank Financial Services since January 2003, and is a control person of the firm.
Is Todd Frank a financial advisor?
Yes. Todd Frank has a current investment-adviser registration in California, Louisiana and Texas, through Frank Financial Services since October 2008.
How many years of experience does Todd Frank have?
Todd Frank has 24 years in the financial industry, since May 2002, across 3 adviser firms.
What exams has Todd Frank passed?
Todd Frank has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in December 2000. FINRA credited Todd Frank with the SIE, which began in October 2018.
Where did Todd Frank work before Frank Financial Services?
Before Frank Financial Services, Todd Frank was registered through RBC Dain Rauscher Inc., May 2002 to January 2003.
Where is Todd Frank based?
Todd Frank’s registered office is in Carlsbad, CA.
Is Todd Frank registered with FINRA?
No. Todd Frank has no current broker registration.
How can I verify Todd Frank’s record?
Search CRD 4225416 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Todd Frank’s full registration record.